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DJ

Dennis Jordan

CRD# 1420210·Registered 1986 - 2006
Barred: Dennis Jordan was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Dennis Jordan, who also goes by Dennis Carrasavillo, Dennis Carrasquillo, Dennis Jordon, was a registered financial advisor. Dennis was a previously registered financial professional and started their career in finance 1986 - 2006. Dennis had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dennis Carrasavillo, Dennis Carrasquillo, Dennis Jordon

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

INDEPENDENT SECURITIES INVESTORS CORPORATION·CRD# 43598
BD
Chipley, FL
September 18, 1998 - March 24, 2006
AMERIVET SECURITIES, INC.·CRD# 34786
BD
New York, NY
July 11, 1997 - August 4, 1997
CLEARING SERVICES OF AMERICA, INC.·CRD# 23623
BD
St. Louis, MO
March 13, 1997 - July 17, 1997
BOLTON GLOBAL CAPITAL·CRD# 15650
BD
Bolton, MA
October 28, 1996 - January 17, 1997
SECURITIES SERVICE NETWORK, LLC·CRD# 13318
BD
Knoxville, TN
January 6, 1995 - November 13, 1996
FIRST AFFILIATED SECURITIES·CRD# 23737
BD
La Jolla, CA
June 9, 1994 - August 29, 1995
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
February 1, 1990 - June 24, 1994
J. T. MORAN & CO., INC.·CRD# 15655
BD
January 10, 1990 - February 1, 1990
J F LOWE & COMPANY INCORPORATED·CRD# 11830
BD
January 3, 1990 - January 30, 1990
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
April 10, 1989 - August 3, 1989
J. T. MORAN & CO., INC.·CRD# 15655
BD
September 21, 1987 - February 1, 1990
VANDERBILT SECURITIES, INC.·CRD# 14280
BD
July 1, 1987 - September 25, 1987
PHILIPS, APPEL & WALDEN, INC.·CRD# 659
BD
January 15, 1987 - July 7, 1987
VANDERBILT SECURITIES, INC.·CRD# 14280
BD
January 21, 1986 - December 23, 1986

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Current Firm

IS
INDEPENDENT SECURITIES INVESTORS CORPORATION

INDEPENDENT SECURITIES INVESTORS CORPORATION | RANGER SECURITIES, INC. | INTREPID SECURITIES, INC.

CRD#: 43598 / SEC#: 8-50352
BD
Terminated by SEC on 04/16/2006

Contact Information

Established

Nevada since 03/27/1991

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
JORDAN, DENNISCEO, PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER, 100% OWNERSHIP1420210
THOMAS, CRAIG ALANFINANCIAL OPERATIONS PRINCIPAL, 0% OWNERSHIP2181088

Disclosures

Regulatory Event

2

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Apr 1995About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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